- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Director level Global Head of Surveillance Quality Assurance. Department Overview Our team of trusted ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $300,000 USD TD is...good governance depends on us. Job Description The Global Head of Surveillance Quality Assurance will lead… more
- TD Bank (New York, NY)
- …Timely reporting on findings and/or recommendations for enhancements, to the Global Head of Surveillance and Compliance senior management. Surveillance Portfolio ... for this role. **Job Description:** **Department Overview:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance… more
- Citigroup (New York, NY)
- …units, operations, technology, legal, Enterprise Regulatory and Tax Information Reporting, corporate tax, and compliance teams to ensure cohesive regulatory ... Regulatory Reporting and Client Tax Operations team within the Wealth division. The Head of NAM Regulatory Reporting and Client Tax Operations will be responsible… more
- Equitable (New York, NY)
- Head of Credit Investments, General Account ( 240000EN ) **Primary Location** : UNITED STATES-NY-New York **Organization** : Equitable **Schedule** : Full-time ... management of the GA portfolio. **Job Overview** The Global Head of Credit Investments will have responsibility for oversight...and management of a portfolio of public and private corporate credit investments totalling $51 billion in book value.… more
- S&P Global (New York, NY)
- …as revenue retention rates, market share and client satisfaction scores. + Ensure compliance with regulatory and corporate governance requirements in all sales ... team is sales focused, energetic, and intellectually curious. **The Role:** The Head of Financial Services and Sponsors is a pivotal leadership position responsible… more
- S&P Global (New York, NY)
- …internal relationships and ongoing dialogue with USPF analytical leadership ensuring compliance with regulatory and corporate governance requirements in all ... make decisions with conviction. By bringing transparency to the market through high- quality independent opinions on creditworthiness, we enable growth across a wide… more
- SMBC (New York, NY)
- …Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local ... robustness and efficiency of the bank's risk management infrastructure and compliance with regulatory requirements. **Role Objectives** + **Leadership and Team… more
- S&P Global (New York, NY)
- …employees world-wide, taking significant responsibility for 1934 Act disclosure and compliance , NYSE/SEC compliance , and corporate finance transactions, ... position reports directly to the Deputy General Counsel and Corporate Secretary, and will lead a team of three...As a key legal advisor to the CFO, Controller, Head of Investor Relations, Treasurer, and finance team broadly,… more
- Mizuho Corporate Bank (New York, NY)
- …fixed income / equity, sales and trading or research (including corporate bonds, securitized products, treasury auctions, equities, electronic and program trading, ... Volcker rule). Knowledge of financial services operations, finance, liquidity, compliance , conduct, financial crime, technology, credit risk, market risk, regulatory… more
- MUFG (New York, NY)
- …Real Estate Industries (REI) credit clients and non-recourse loan business for Japanese Corporate Banking (JCB) Americas based in NY. The Associate position will be ... REI client credit relationships as assigned. Responsibilities also include contributing high quality research insights of real estate industry risk and/ or growth… more
- MUFG (New York, NY)
- …management of business development activities associated with a group of Japanese corporate account relationships and prospects with the primary goal being the ... Primary Offices and other relevant parties in providing high quality overall banking services to the clients. Maintain regular...coordinate other duties and projects as assigned by Department Head or Team Manager + Maintain awareness of evolving… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... Broker-Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, compliance , IT, etc.) to support the creation and maintenance of these… more
- Mizuho Corporate Bank (New York, NY)
- …effective remediation. + Communicate, as needed, with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other ... be directed by the Director. + Cooperate with directives and requests from IADA's Quality Assurance team, and promote the ongoing effectiveness of IADA's Quality … more
- Mizuho Corporate Bank (New York, NY)
- …in a timely manner. Communicate, as needed, with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other Mizuho ... and industry best practices. Cooperate with directives and requests from IADA's Quality Assurance team, and promote the ongoing effectiveness of IADA's Quality… more
- SMBC (Jersey City, NJ)
- …framework. + Supports the consolidation and reporting of results within local and Head Office reporting. + Develop annual compliance monitoring and testing Plan ... Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local… more
- Guardian Life (New York, NY)
- …+ Complete detail-oriented tasks and assignments as needed. **Reporting Relationships** As our Compliance Analyst, you will report to the Head of Compliance ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $250,000 USD TD is committed to providing fair ... details for this role. **Job Description:** Department Overview: The Global Compliance Department is responsible for overseeing regulatory compliance across… more
- SMBC (Jersey City, NJ)
- …Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local ... offers a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the … more
- SMBC (Jersey City, NJ)
- …Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local ... a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for … more
- MUFG (New York, NY)
- …to financial services for areas such as risk management, regulatory compliance , credit/lending, markets, corporate functions, technology, and financial crimes. ... will provide more details. **Job Summary:** The Director, Audit Quality Assurance & Improvement Program (QAIP) position is a...Global Internal Audit (GIA) function, reporting to the Global Head of QA. The position is responsible for overseeing… more